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The Pinnacle Financial Group CRD 164395
$1.38B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
9 South Long Beach Road, Rockville Centre, NY 11570 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-01-29 |
| GA | RA | APPROVED | 2025-01-02 |
| NJ | RA | APPROVED | 2025-01-02 |
| CA | RA | APPROVED | 2024-12-27 |
| CT | RA | APPROVED | 2024-12-27 |
| IL | RA | APPROVED | 2024-12-27 |
| MD | RA | APPROVED | 2024-12-27 |
| NY | RA | APPROVED | 2024-12-27 |
| NC | RA | APPROVED | 2024-12-27 |
| PA | RA | APPROVED | 2024-12-27 |
| SC | RA | APPROVED | 2024-12-27 |
| TX | RA | APPROVED | 2024-12-27 |
| VA | RA | APPROVED | 2024-12-27 |
Branch Locations
9 South Long Beach Road, Rockville Centre, NY 11570 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 08/2014 | 09/2024 |
| Bank Of America, N.A. | New York | NY | 03/2015 | 09/2024 |
| Lpl Financial | Melville | NY | 09/2024 | Present |
| The Pinnacle Financial Group | Rockville Centre | NY | 09/2024 | Present |
1) 08/2024 - The Pinnacle Financial Group / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-11-18 |
| S65 | Uniform Investment Adviser Law Examination | 2011-02-22 |
| S63 | Uniform Securities Agent State Law Examination | 2006-11-27 |
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